LPLA

SEC source: 0001397911-22-000144 · wf-form4_166215345473773.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,457

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000138 · wf-form4_166215271483857.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,905

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000128 · wf-form4_166094290875321.xml · derivative · entry 5

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,131

Underlying: Common Stock · 11,391 shares

Expires 2027-03-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F6 · derivative.exercise_date: This option became exercisable in three installments, beginning March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020.

SEC source: 0001397911-22-000128 · wf-form4_166094290875321.xml · nonDerivative · entry 4

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,607.94

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F5 · balance_after: Consists of (i) 136,174.94 shares of Common Stock; (ii) 4,849 restricted stock units that vest in full on February 25, 2023; (iii) 9,829 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 11,755 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025.

SEC source: 0001397911-22-000128 · wf-form4_166094290875321.xml · nonDerivative · entry 3

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,707.94

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $231.04 to $232.02, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

SEC source: 0001397911-22-000128 · wf-form4_166094290875321.xml · nonDerivative · entry 2

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,238.94

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $230.00 to $230.91, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

SEC source: 0001397911-22-000128 · wf-form4_166094290875321.xml · nonDerivative · entry 1

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,998.94

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

SEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · derivative · entry 8

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,448 shares

Expires 2028-02-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F10 · derivative.exercise_date: This option became exercisable in three installments, beginning on February 23, 2019, which was the first anniversary of the date on which it was granted. The option became fully vested on February 23, 2021.

SEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 7

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,633.1482

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $231.85 to $231.94, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (8) to this Form 4.

F9 · balance_after: Consists of (i) 34,104.15 shares of Common Stock; (ii) 1,019 restricted stock units that vest in full on February 25, 2023; (iii) 1,693 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 1,817 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025.

SEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 6

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,978.1482

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $230.68 to $231.27, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4.

SEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 5

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,378.1482

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $229.62 to $230.38, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4.

SEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 4

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,087.1482

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $228.53 to $229.525, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4.

SEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 3

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,387.1482

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.53 to $228.51, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

SEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 2

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,430.1482

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.91 to $225.88, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

SEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,516.1482

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

SEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · derivative · entry 9

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,522

Underlying: Common Stock · 3,609 shares

Expires 2027-03-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F9 · derivative.exercise_date: This option became exercisable in three installments, beginning March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020.

SEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 7

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,607.94

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $230.00 to $230.36, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4.

F8 · balance_after: Consists of (i) 136,174.94 shares of Common Stock; (ii) 4,849 restricted stock units that vest in full on February 25, 2023; (iii) 9,829 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 11,755 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025.

SEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 6

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,216.94

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

SEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · derivative · entry 8

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,131

Underlying: Common Stock · 10,000 shares

Expires 2027-03-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F9 · derivative.exercise_date: This option became exercisable in three installments, beginning March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020.

SEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 5

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,607.94

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.80 to $227.20, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4.

SEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 4

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,738.94

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.79 to $226.77, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4.

SEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 3

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,146.94

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.71 to $225.70, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

SEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 2

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,899.94

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.62 to $224.45, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

SEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 1

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,607.94

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.

SEC source: 0001397911-22-000124 · wf-form4_165999168010302.xml · derivative · entry 3

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,355 shares

Expires 2029-02-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 31, 2022.

F4 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2020, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2022.

SEC source: 0001397911-22-000124 · wf-form4_165999168010302.xml · nonDerivative · entry 2

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,078

F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 31, 2022.

F3 · balance_after: Consists of (i) 9,711 shares of Common Stock; (ii) 7,537 restricted stock units that vest in full on September 7, 2022; (iii) 1,378 restricted stock units that vest in full on February 25, 2023; (iv) 2,840 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (v) 2,612 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025.

SEC source: 0001397911-22-000124 · wf-form4_165999168010302.xml · nonDerivative · entry 1

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,433

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 31, 2022.

SEC source: 0001397911-22-000119 · wf-form4_165948577789761.xml · derivative · entry 3

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 39,015 shares

Expires 2026-02-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2022.

F5 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019.

SEC source: 0001397911-22-000119 · wf-form4_165948577789761.xml · nonDerivative · entry 2

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,607.94

F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2022.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $210.00 to $210.92, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F4 · balance_after: Consists of (i) 136,174.94 shares of Common Stock; (ii) 4,849 restricted stock units that vest in full on February 25, 2023; (iii) 9,829 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 11,755 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025.

SEC source: 0001397911-22-000119 · wf-form4_165948577789761.xml · nonDerivative · entry 1

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,622.94

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2022.

SEC source: 0001397911-22-000103 · wf-form4_165645276168188.xml · nonDerivative · entry 2

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,038

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000103 · wf-form4_165645276168188.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,031

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000105 · wf-form4_165645313761725.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,818

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000105 · wf-form4_165645313761725.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,800

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000109 · wf-form4_165645387709765.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,906.5

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000109 · wf-form4_165645387709765.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,893.5

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000111 · wf-form4_165645422920371.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,314.8345

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000111 · wf-form4_165645422920371.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,290.8345

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000101 · wf-form4_165645244463501.xml · nonDerivative · entry 2

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,219

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000101 · wf-form4_165645244463501.xml · nonDerivative · entry 1

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,214

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000113 · wf-form4_165645451062923.xml · nonDerivative · entry 2

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,449

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000113 · wf-form4_165645451062923.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,441

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000107 · wf-form4_165645344392935.xml · nonDerivative · entry 2

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,901

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000107 · wf-form4_165645344392935.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,897

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-22-000096 · wf-form4_165454799558691.xml · nonDerivative · entry 1

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,139

F1 · balance_after: Consists of (i) 14,867 shares of Common Stock; (ii) 735 restricted stock units that vest in full on February 25, 2023; (iii) 1,500 restricted stock units that vest in full on June 5, 2023; (iv) 1,980 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (v) 2,057 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025.

SEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · derivative · entry 12

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,015

Underlying: Common Stock · 19,508 shares

Expires 2026-02-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2022.

F11 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019.

SEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 10

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,607.94

F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2022.

F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.00 to $200.70, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (9) to this Form 4.

F10 · balance_after: Consists of (i) 136,174.94 shares of Common Stock; (ii) 4,849 restricted stock units that vest in full on February 25, 2023; (iii) 9,829 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 11,755 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025.

SEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 9

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,115.94

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2022.

SEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · derivative · entry 11

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,523

Underlying: Common Stock · 19,508 shares

Expires 2026-02-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2022.

F11 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019.

SEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 8

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,607.94

F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2022.

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $195.33 to $196.09, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (8) to this Form 4.